Marketing and Advertising for the Investment Adviser Representative

Overview

The SEC has released a new Marketing Rule, replacing outdated regulations from 1961. Effective May 4, 2021, it modernizes RIA advertising and marketing, addressing technological changes. Firms have an 18-month transition period to adopt the new rule entirely. It also replaces the old solicitation rule for paid solicitors and introduces new definitions that control the rule’s application.

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Objectives

  • Understand the new definitions governing practices under the new Marketing Rule
  • Identify the General Prohibitions under the new Marketing Rule
  • Utilize testimonials and endorsements in compliance with the new Marketing Rule
  • Advertise Performance Information correctly
  • Comply with new books and records requirements for marketing materials
  • Implement changes to Form ADV under the new Marketing Rule
  • Navigate the transition from the old to the new Marketing Rule

Designed For:

Investment Adviser Representatives




Course Information

Adding additional credit may change exam requirements.